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Eligible Training Programmes

Interested practitioners may apply for reimbursement of the fees of the eligible courses to be held on or after 1 October, 2016.

 

For enrolment, detailed course schedule, course fees, and any other course related questions, please click the relevant hyperlinks or contact the course provider(s) directly.

 

The relevant programmes are listed below.   

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Hong Kong Securities and Investment Institute

 

Programme

Course

Asset Management Fundamentals Programme

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module 3a - Regulation of Asset Management

(5-hour intensive class)

Module 3b - Regulation of Asset Management

(10-hour foundation class)

Module 4 - Asset Management

Back Office Fundamentals for Wealth and Asset Management Programme

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module  3 - Dealing, Clearing and Settlement Practices

Module 4 - Operational requirements under the SFO

Module 5 - Compliance, Risk Management and Controls

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 1 – Technical, Industry and Product Knowledge

Topic 1 - Basic Products: Fixed Income Instruments, Equity Securities and Foreign Exchange

Topic 2 - Derivatives and Structured Products

Topic 3 - Investment Funds and Alternative Investments

Topic 4 - Portfolio Management: Theories and Practices

Topic 5 - Lending and Leverage

Topic 6 - Wealth Planning

Topic 7 - Behavioural Finance

Topic 8 - Customer Relationship Management

Topic 9 - Overview of Private Wealth Management Industry

Topic 10 - Overview of Private Wealth Management Markets: Hong Kong, Mainland China and Asia-Pacific

Duties and Liabilities of Responsible OfficersDuties and Liabilities of Responsible Officers
Overview of Legal and Regulatory Framework for Securities & Futures Industry

 

Overview of Legal and Regulatory Framework for Securities and Futures Industry

 

 

防洗錢、最新監管要求及行為規範

防洗錢、最新監管要求及行為規範

Advanced Level Seminars

Digital Assets for Portfolio Management

強積金中介人操守及強積金制度發展
Proposed Climate-related Risks Requirements for Fund Managers
Riding on Wealth Management Connect (WMC) in Greater Bay Area (GBA)
Regulatory Trend and Opportunities for Asset Management Industry
Limited Partnership Fund Regime and Proposed Carried Interest Concession
Avoiding Dubious Arrangements and Transactions
Preparation for Proposed Changes of SFC’s AML/CFT Guidelines
Fintech, Regtech and Suptech: The Digital Transformation of Regulatory Compliance Management

SFC’s Update on Anti-money Laundering Regulations

Offshore Overview and Update on Economic Substance

Selling ESG Products to Private Bank Clients

AML/CFT in the Cayman Islands Regime

Fulfilling Suitability Obligations

Portfolio Management: How Roboadvisors apply Modern Portfolio theory

 

* common courses of both programmes

  

Enquiry: (852) 3120 6100 OR education@hksi.org

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The Hong Kong Institute of Bankers

Programme

 

Course

 Postgraduate Diploma in Credit Management/ Treasury Management/ Operations Management for Certified Banker(#)

1

Bank Lending

2

Credit Risk Management

3

Bank Asset and Liability Management

4

Treasury Markets and Operations

5

Banking Law and Practice

6

Operational Risk Management

Enhanced Competency Framework (ECF) on Retail Wealth Management

1

Regulatory Environment for Banking and Financial Planning (RWM)

2

Investment Planning (RWM)

3

Essentials of Banking (RWM)

4

Insurance and Retirement Planning (RWM) 

5

Investment and Asset Management –
Product Solutions (RWM)

6

Investment and Asset Management –
Alternatives and Wealth Solutions (RWM)

7

Financial Planning and Wealth Management (RWM) 

Enhanced Competency Framework Programme

1

Advanced Certificate for ECF on Anti-Money Laundering and Counter-Financing of Terrorism

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 2 – Ethics and Compliance

1

Regulatory Regime in Hong Kong and Requirement on Sale of Investment Products

2

Relevant Laws and Regulations relating to Client Engagement and Relationship Building

3

Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking

4

Risk Management, Risk Governance and Risk Culture of Private Wealth Management Institutions

 

# “Certified Banker” is revamped from"AHKIB" with effective from 1 January 2017.

 

Enquiry: (852) 2153 7865 OR programme@hkib.org

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AIIFL/HKU, CLLC and PWMA

     

 

Programme Modules
Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2019)1Financial Laws and Regulations for Private Banking and Wealth Management
2Risk Management for Private Banking and Wealth Management
3Risks and Legal and Regulatory
Requirements for Private Bankers and Wealth Management Relationship Managers
4Securities Law Compliance for Senior Management
5Conduct and Ethics for Private Bankers
and Wealth Management Relationship Managers
6Essentials for Private Banking and Wealth Management Compliance Managers

 

Enquiry: Ms Flora Leung at (852) 3917 2941 or fkleung@hku.hk 

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Hong Kong Trustees' Association and Hong Kong Securities and Investment Institute

 

ProgrammeModules
 

Trust Training Certificate (TTC)

Unit 1 - Introduction to Trusts

Unit 2 - Types of Trusts and When Appropriate
Unit 3 - Administration and Management of Trusts
Unit 4 - Other Estate Planning Vehicles
Unit 5 - Trusts compared with Other Estate Planning Vehicles
Unit 6 - Trusts and Compliance
Unit 7 - Trusts Jurisdiction Comparison
Unit 8 - Other Trust Vehicles in Details

Unit 9 - The Contents of Trusts and Drafting

Unit 10 - Testamentary Issues & Avoiding Testamentary Disputes

Unit 11 - International Tax - Part 1

Unit 13 - Family Office

Unit 14 - Foundations Law – Part 1

Unit 17 - Trusts and Issues for PRC Nationals

Unit 18 - Trusts for Security Arrangements, Commercial and Employee Benefit Needs

Unit 19 - Collective Investment Schemes – Part 1 Private Arrangements

Unit 20 - Collective Investment Schemes – Part 2 Public Offering Arrangements

Unit 21 - Hong Kong Mandatory Retirement Schemes Trusts - MPF

Unit 22 - Hong Kong Mandatory Retirement Schemes Trusts – ORSO

 

Enquiry: info@hksi.org or 3120 6100

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The Institute of Financial Planners of Hong Kong


 

ProgrammeModules

Qualified Retirement Adviser (QRA) Education Program

Ordinary Track - Topics 1 to 7
Exemption Track - Topics 4 to 7

 

Enquiry: qra@ifphk.org or 2982 7888

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Hong Kong Quality Assurance Agency and Hong Kong Securities and Investment Institute


 

ProgrammeModules

Green Finance for Wealth and Asset Management (WAM) Professionals

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Enquiry: info@hksi.org or 3120 6100